Job Description: Are you a Dip Level 4 compliance officer/manager, with 5+ years working in a regulated financial services firm?
Are you looking for an exciting and challenging opportunity to hold an SMF16 position and be directly in control of shaping and building your career alongside a new business?
A Compliance Manager, (SMF16) is required for a hugely anticipated new wealth management company. This is a hands-on role in an agile, start-up environment.
You’ll form part of the senior leadership team and be focused on creating frameworks, policies, and delivering the compliance plan you create to enable a compliant environment with high growth ambitions.
The role will involve:
• Delivering all SMF16 responsibilities, including SM&CR, PI insurance, Capital Adequacy requirements, complaints handling and liaising with key stakeholders, such as MLRO and DPO. Strong regulatory knowledge, including knowledge of COBS, ICOBS, TCF, DISP
• Leading the overall design and delivery of a proportionate risk-based monitoring and testing program, with support from an external compliance services company
• Responsible for implementing aEas T&C scheme and periodic observations of advisory staff
• Compilation, ownership and delivery of the company’s compliance monitoring and testing plan
• Organise the team so that it can be managed effectively including:
• Supervise the day-to-day activities of all wealth planners and administration staff, monitor performance and identify any training needs.
• Recruitment and development of staff
• Provision of training and regular skills assessment
• Horizon scanning to monitor regulatory developments and implementing regulatory changes.
• Qualified to QCF Level 4 - holding relevant Financial Services Qualifications.
• Strong Compliance experience within the Wealth Management arena